Dark
Light
System
Security
ASTERIAS BIOTHERAPEUTICS INC
ASTERIAS BIOTHERAPEUTICS INC. Institutional holdings reported to the SEC.

Institutional Holders (2015Q2)
Portfolio Summary: 66 Institutional holders with a total value of $19,400,890.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Apriem Advisors 12 0 0.00%
2 MSI Financial Services Inc 34 0 0.00%
3 PNC FINANCIAL SERVICES GROUP, INC. 41 0 0.00%
4 FIRST MANHATTAN CO. LLC. 133 0 0.00%
5 WEALTHPLAN PARTNERS, LLC 29 0 0.00%
6 Tradewinds Capital Management, LLC 2 0 0.00%
7 Chicago Partners Investment Group LLC 16 0 0.00%
8 Aris Wealth Services, Inc. 13 0 0.00%
9 WEALTHFRONT CORP 3 0 0.00%
10 Endurance Wealth Management, Inc. 16 0 0.00%
11 Stanford Investment Group, Inc. 20 0 0.00%
12 CENTRAL TRUST Co 4 0 0.00%
13 WHITTIER TRUST CO OF NEVADA INC 8 0 0.00%
14 BARCLAYS PLC 52 0 0.00% Call
15 GLENMEDE TRUST CO NA 4 0 0.00%
16 MANUFACTURERS LIFE INSURANCE COMPANY, THE 182 1,000 0.01%
17 GUPTA WEALTH MANAGEMENT LLC 166 1,000 0.01%
18 ROYAL BANK OF CANADA 215 1,000 0.01%
19 BARCLAYS PLC 128 1,000 0.01% Put
20 UBS Group AG 677 3,000 0.02%
21 WELLS FARGO & COMPANY/MN 693 3,000 0.02%
22 EDMOND DE ROTHSCHILD HOLDING S.A. 625 3,000 0.02%
23 US BANCORP \DE\ 687 3,000 0.02%
24 BNP PARIBAS FINANCIAL MARKETS 869 3,997 0.02%
25 LADENBURG THALMANN FINANCIAL SERVICES INC. 839 4,000 0.02%
26 FIFTH THIRD BANCORP 829 4,000 0.02%
27 BARCLAYS PLC 1,118 4,000 0.02%
28 Invesco Ltd. 1,239 6,000 0.03%
29 BELLEVUE ASSET MANAGEMENT AG 1,875 9,000 0.05%
30 BANK OF AMERICA CORP /DE/ 2,206 10,000 0.05%
31 DEUTSCHE BANK AG\ 2,511 11,000 0.06%
32 STRS OHIO 3,300 15,000 0.08%
33 TIAA CREF INVESTMENT MANAGEMENT LLC 4,050 19,000 0.10%
34 BANK OF MONTREAL /CAN/ 5,041 23,000 0.12%
35 BLACKROCK ADVISORS LLC 5,229 24,000 0.12%
36 GROUP ONE TRADING LLC 5,557 26,000 0.13%
37 FIRST NEW YORK SECURITIES LLC /NY 5,700 26,220 0.14%
38 AMERICAN INTERNATIONAL GROUP, INC. 6,233 28,673 0.15%
39 Nationwide Fund Advisors 6,657 31,000 0.16%
40 MORGAN STANLEY 6,952 31,000 0.16%
41 NEW YORK STATE COMMON RETIREMENT FUND 6,940 32,000 0.16%
42 Squarepoint Ops LLC 10,200 47,000 0.24%
43 WEDBUSH SECURITIES INC 11,033 51,000 0.26%
44 BRIDGEWAY CAPITAL MANAGEMENT, LLC 13,362 61,000 0.31%
45 Tower Research Capital LLC (TRC) 14,512 67,000 0.35%
46 TEACHERS ADVISORS, LLC 14,644 67,000 0.35%
47 DELTEC ASSET MANAGEMENT LLC 15,000 69,000 0.36%
48 CHARLES SCHWAB INVESTMENT MANAGEMENT INC 15,125 70,000 0.36%
49 Allen Investment Management, LLC 15,524 71,000 0.37%
50 NORTHERN TRUST CORP 15,498 72,000 0.37%
Page 1 of 2

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.